RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
- M•••••• BD affiliated currentsince Feb 17, 2022 · Tigard, Or
- C••••• A••••••• L•• formerMar 9, 2012 to Jan 5, 2022 · Portland, Or
- P•••••• W••• F•••••••• C••••••••• I•• formerJul 10, 2009 to Feb 28, 2012 · Renton, Wa
- W•••• F•••• I••••••••• L•• unclassifiedApr 24, 2008 to Jun 8, 2009 · Tualatin, Or
- C••••• A••••••• L•• to M••••••left Jan 5, 2022, registered Feb 17, 2022 (43 days) · Affiliated broker-dealer or bank to another
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• A••••••• L••left Feb 28, 2012, registered Mar 9, 2012 (10 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to P•••••• W••• F•••••••• C••••••••• I••left Jun 8, 2009, registered Jul 10, 2009 (32 days) · Other
- M•••••• P••• J•••••••• left C••••• A••••••• L•• for Mariner (registered 2022-02-17)Jan 5, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address